DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

F•••• A••••••• C••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 160496SEC 801-121825IAPD
Latest filing Jun 22, 2021
First filing on the tape Feb 13, 2012 · 3 filings
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$454M gross assets
History
3 filings and snapshots on the tape
RAUM$227M as of Jun 22, 2021
Feb 13, 2012$199M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 22, 2021
Jun 23, 20160 then
Employees (5.A)4 as of Jun 22, 2021
Jun 23, 201610 then
Private funds2 as of Jun 22, 2021
Feb 13, 20122 then
Practice profile
derived from the filing of Jun 22, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$227MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$227M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• E••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$127M21Feb 13, 2012
      A••••••• E••••• P••••••• I•••• L•••no longer reportedPrivate Equity Fund$126M9Mar 24, 2016
      A••••••• E••••• P••••••• I••• L•Private Equity Fund$83.9M9Jun 23, 2016
      A••••••• E••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$714,40037Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• T••••• · Managing Directorcontrol
        since 03/2004 · owns less than 5%
      • B•••••• R•••••• · Chairman, Ceocontrol
        since 04/1989 · owns 75% or more
      • P••••••••• P••••• M•••••• · Cco, Cfocontrol
        since 04/2008 · owns less than 5%
      • P••••••• E•••••• S••••• · Managing Directorcontrol
        since 01/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••• E••••• A••••••••• I•••• L•••
        investment adviserpooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• 1•• P•••••• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• 2••• 1• M••••••• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• C••••••• O••• G•• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• N••••• G•• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• P•••••• M••••••• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• S••••• R•••• M••••••• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• W••• 1•• G•• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• A••••••••• W••• 1•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 3
        Jun 23, 2016 to Jun 22, 2021
      • Pooled vehicle clients · unset to 1.0
        Jun 23, 2016 to Jun 22, 2021
      • Custody of client assets · true to false
        Jun 23, 2016 to Jun 22, 2021
      • Employees · 10 to 4
        Jun 23, 2016 to Jun 22, 2021
      • Other offices · unset to 0.0
        Jun 23, 2016 to Jun 22, 2021
      • Discretionary RAUM · $157M to $227M
        Jun 23, 2016 to Jun 22, 2021
      • Pooled vehicle RAUM · unset to 227000000.0
        Jun 23, 2016 to Jun 22, 2021
      • RAUM · $157M to $227M
        Jun 23, 2016 to Jun 22, 2021
      • Accounts · 2 to 1
        Feb 13, 2012 to Jun 23, 2016
      • Advisory employees · unset to 8.0
        Feb 13, 2012 to Jun 23, 2016
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Jun 23, 2016
      • Employees · unset to 10.0
        Feb 13, 2012 to Jun 23, 2016
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Jun 23, 2016
      • Discretionary RAUM · $199M to $157M
        Feb 13, 2012 to Jun 23, 2016
      • RAUM · $199M to $157M
        Feb 13, 2012 to Jun 23, 2016
      Signals
      1 dated events
      • F•••• A••••••• C••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 23, 2016 · ria f•••• adv filing · fact
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026